Southwest Securities (now Hilltop Securities)

  • Robert Rex, Esq.

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX
Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Robert Rex, Esq.

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

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  • Robert Rex, Esq.

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator
Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

September 24,  2015- Plano, Texas  John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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  • Robert Rex, Esq.

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud
Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud 150 150 Robert Rex, Esq.

September 15, 2015–Dallas, Texas In a Press Release, the FBI reports that Wade Lawrence, 43, of Dallas faces up to five years in prison for securities fraud in connection with offering…

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  • Robert Rex, Esq.

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Robert Rex, Esq.

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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